AFSL
Financial planning
ASIC has cancelled the AFSL of global advisory group Brite Advisors after compensation was paid to an individual by the Compensation Scheme of Last Resort....
Financial planning
ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....
Financial planning
Merchant Wealth’s David Haintz has described how the firm differs from the traditional private equity ventures jumping into Australia, and why M&A isn’t like Married at F...
Financial planning
Money Management examines the share price of financial advice licensees over one year to 31 March, with M&A actions in the final quarter having a positive effect for two ...
Funds management
ASIC is launching a new portal for Australian Financial Services licensees in May to ease the process of applying for a licence. ...
Expert Analysis
With email being the most-commonly used method of adviser communication with their clients, sharing sensitive documents can come with risk of cybercrime, writes Greg Hans...
Financial planning
The parliamentary inquiry into the sophisticated investor test (SIT) has recommended making the test less subjective in order to prevent abuse by AFSLs....
Financial planning
ASIC has cancelled its first AFSL of 2025, taking action against an advice licensee based in Sydney, NSW. ...
Financial planning
With Finchley & Kent coming in second place for adviser growth in 2024, its managing director shares why word-of-mouth referrals have been critical to its success....
Financial planning
Advice veteran Paul Harding-Davis is to step down from Brisbane licensee AdviceIQ Partners after eight years, and the business has appointed a new general manager. ...
Funds management
Sanlam Private Wealth has admitted to breaching its AFSL obligations in areas such as failing to have an adequate number of experienced responsible managers and provided ...
Financial planning
Assured Support explores five tips to help financial advisers embed compliance into the heart of their business, with 2025 set to see further regulatory change....
Financial planning
Six of the seven listed financial advice licensees have reported positive share price growth in 2024, with AMP and Insignia successfully reversing earlier losses. ...
Financial planning
ASIC has announced its finalised industry funding levy, detailing how much licensees will have to pay for the 2023-24 financial year and how it compares to original estim...
Financial planning
The corporate regulator has cancelled two AFSLs, one against a Western Australia financial advice firm and one against an individual. ...
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MARKET INSIGHTS
Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...